permitted client definition

permitted client means any of the following:
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permitted client as defined in section 1.1 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (“NI 31-103”) by virtue of satisfying the indicated criterion in Section 12 below
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permitted client means a permitted client as defined in National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations;
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Examples of permitted client in a sentence

  • If you are an individual or corporation that qualifies as a Permitted Client you may certify in writing that you waive your right to be advised by R2 on the suitability of purchases made on your behalf through the firm.

  • If you are an individual or corporation that qualifies as a Permitted Client you may certify in writing that you waive your right to be advised by Real Crowd on the suitability of purchases made on your behalf through the firm.

  • A Permitted Client may certify in writing that he/she will not be relying on R2 to advise on the suitability of purchases made through R2, and such certification will be saved in the investor file..

  • A Permitted Client may certify in writing that he/she will not be relying on Real Crowd to advise on the suitability of purchases made through Real Crowd, and such certification will be saved in the investor file.

  • Subject to the terms and conditions of this Agreement, Permitted Client Contractors may use the Services applicable Documentation under the Client’s Subscriptions, provided that (a) such use is only for the Client’s internal use, (b) the Client agrees to remain responsible for the Contractor’s compliance with the terms and conditions of this Agreement.

  • Client is also responsible for ensuring that its authenticated users or its Permitted Client comply with these Terms and Conditions with respect to use of our products or related Services.

  • Client is responsible for administering and granting of rights to its authenticated users or its Permitted Client.

  • Unless you are a Permitted Client who has certified in writing that you will not be relying on Real Crowd to advise on the suitability of purchases made through the firm, Real Crowd is obligated to ensure all such trades and referrals are suitable, based on the financial and other information we have collected in the Know Your Client information questionnaire (“KYC”).

  • Unless you are a Permitted Client who has certified in writing that you will not be relying on R2 to advise on the suitability of purchases made through the firm, R2 is obligated to ensure all such trades and referrals are suitable, based on the financial and other information we have collected in the Know Your Client information questionnaire (“KYC”).


More Definitions of permitted client

permitted client means a permitted client as defined in National Instrument 31-103
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permitted client. , for the Registrant, means a person or company that is a client of the Registrant, and that is, or was at the time the person or company became a client of the Registrant:
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permitted client means one of the following clients:
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permitted client means organizations whose primary business is .
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permitted client means a Client who is not an Excluded Client. Personal Data means personal data within the definition set out in Section 1(1) of the DPA, to the extent included in the Client Data. Potential Bulk Transfer Clients means Clients who, as at the Communication Date, have not taken any action in response to the Introductory Notification or any Subsequent Communications and who are therefore the subject of the Applications. Regulator means the FCA, Information Commissioner’s Office and any other regulatory body with jurisdiction over a Party. Settlement Period means, in respect of each Bulk Transfer Client, the period between the Bulk Transfer Date and the date on which the Bulk Transfer Assets relating to such Bulk Transfer Client are transferred into the custody of HL or its appointed nominee, custodian or administrator pursuant to clause 4.1(a)(ii).
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Related to permitted client

  • Restricted Client means any person, firm, corporation or other organization to whom the Participant directly or indirectly performed or assisted in performing Relevant Services, or with which the Participant otherwise had material contact, or about which the Participant learned Confidential Information or Trade Secrets, within the twenty-four months prior to the date on which the Participant’s employment with the Constituent Companies terminated.

  • Permitted Entity means with respect to a Qualified Stockholder (a) a Permitted Trust (as defined below) solely for the benefit of (i) such Qualified Stockholder, (ii) one or more Family Members of such Qualified Stockholder and/or (iii) any other Permitted Entity of such Qualified Stockholder, or (b) any general partnership, limited partnership, limited liability company, corporation or other entity exclusively owned by (i) such Qualified Stockholder, (ii) one or more Family Members of such Qualified Stockholder and/or (iii) any other Permitted Entity of such Qualified Stockholder.

  • Permitted Person means – the Representatives of the Recipient; and any other person to whom the Recipient discloses Confidential Information with the prior written consent of the Disclosing Party;

  • permitted hours means the periods specified for each parking place during which waiting by vehicles of a specific class is permitted as specified on the Plans;

  • Permitted Recipients means the parties to this agreement, the employees of each party and any third parties engaged to perform obligations in connection with this Agreement;

  • Prohibited Content means any content on any advertising media that:

  • Excluded Persons means (A) the Company or any Regency Entity; (B) a trustee or other fiduciary holding securities under an employee benefit plan of the Company or any Regency Entity; (C) an underwriter temporarily holding securities pursuant to an offering of such securities; or (D) a corporation owned, directly or indirectly, by the shareholders of the Company in substantially the same proportions as their ownership of stock in the Company.

  • Permitted License means any non-exclusive license of patent rights of Borrower or its Subsidiaries so long as all such Permitted Licenses are granted to third parties in the Ordinary Course of Business, do not result in a legal transfer of title to the licensed property, and have been granted in exchange for fair consideration.

  • Permitted Facility means a facility authorized by the general permit to discharge total nitrogen or

  • Excluded Person means each Defendant, the directors and officers of each Defendant, the subsidiaries or affiliates of each Defendant, the entities in which each Defendant or any of that Defendant’s subsidiaries or affiliates have a controlling interest and the legal representatives, heirs, successors and assigns of each of the foregoing.

  • Permitted Investor means collectively, Energy Capital Partners III, LP, Energy Capital Partners III-A, LP, Energy Capital Partners III-B, LP, Energy Capital Partners III-C, LP, Energy Capital Partners-D, LP, Quantum Strategic Partners and each of their Permitted Transferees (as defined in the Investors Agreement, dated as of March 29, 2018, by and among the Parent and the other signatories thereto).

  • Permitted Receivables Financing means any one or more receivables financings in which (a) any Loan Party or any Restricted Subsidiary (i) sells (as determined in accordance with GAAP) any accounts (as defined in the Uniform Commercial Code as in effect in the State of New York), payment intangibles (as defined in the Uniform Commercial Code as in effect in the State of New York), notes receivable, rights to future lease payments or residuals (collectively, together with certain property relating thereto and the right to collections thereon, being the “Transferred Assets”) to any Person that is not a Subsidiary or Affiliate of the Borrower (with respect to any such transaction, the “Receivables Financier”), (ii) borrows from such Receivables Financier and secures such borrowings by a pledge of such Transferred Assets and/or (iii) otherwise finances its acquisition of such Transferred Assets and, in connection therewith, conveys an interest in such Transferred Assets to the Receivables Financier or (b) any Loan Party or any Restricted Subsidiary sells, conveys or otherwise contributes any Transferred Assets to a Receivables Financing SPC, which Receivables Financing SPC then (i) sells (as determined in accordance with GAAP) any such Transferred Assets (or an interest therein) to any Receivables Financier, (ii) borrows from such Receivables Financier and secures such borrowings by a pledge of such Transferred Assets or (iii) otherwise finances its acquisition of such Transferred Assets and, in connection therewith, conveys an interest in such Transferred Assets to the Receivables Financier; provided that (A) the aggregate Attributed Principal Amount for all such financings shall not at any time exceed $600,000,000 and (B) such financings shall not involve any recourse to any Loan Party or any Restricted Subsidiary for any reason other than (x) repurchases of non-eligible assets or (y) indemnifications for losses other than credit losses related to the Transferred Assets.

  • Permitted Assets means any and all properties or assets that are used or useful in a Permitted Business (including Capital Stock in a Person that is a Restricted Subsidiary and Capital Stock in a Person whose primary business is a Permitted Business that shall become a Restricted Subsidiary immediately upon the acquisition of such Capital Stock by the Issuer or by a Restricted Subsidiary, but excluding any other securities).

  • Permitted Contest means, with respect to any tax obligation or other obligation allegedly or potentially owing from any Borrower or its Subsidiary to any governmental tax authority or other third party, a contest maintained in good faith by appropriate proceedings promptly instituted and diligently conducted and with respect to which such reserve or other appropriate provision, if any, as shall be required in conformity with GAAP shall have been made on the books and records and financial statements of the applicable Credit Party(ies); provided, however, that (a) compliance with the obligation that is the subject of such contest is effectively stayed during such challenge; (b) Borrowers’ and its Subsidiaries’ title to, and its right to use, the Collateral is not adversely affected thereby and Agent’s Lien and priority on the Collateral are not adversely affected, altered or impaired thereby; (c) Borrowers have given prior written notice to Agent of a Borrower’s or its Subsidiary’s intent to so contest the obligation; (d) the Collateral or any part thereof or any interest therein shall not be in any danger of being sold, forfeited or lost by reason of such contest by Borrowers or its Subsidiaries; (e) Borrowers have given Agent notice of the commencement of such contest and upon request by Agent, from time to time, notice of the status of such contest by Borrowers and/or confirmation of the continuing satisfaction of this definition; and (f) upon a final determination of such contest, Borrowers and its Subsidiaries shall promptly comply with the requirements thereof.

  • Permitted User means a person other than an employee of the Company who is authorized by the Company pursuant to and in accordance with Section 2.1(a)(ii) and all applicable Documentation to access and use one or more specific Component Systems.